SEC Form 4 · accession 0001209191-15-079825
Apollo Global Management LLC · APO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A B Krongard
Director
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 6:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411494
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A SharesF1,F2 | Nov 10, 2015 | P | 4,175 | $18.011 | A | 28,732 | D | |
| Class A SharesF3 | holding | — | — | — | 250,000 | I | Alvin B. Krongard Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.9951 to $18.0286, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2Reported amount includes 4,514 RSUs granted under the 2007 Plan. Each RSU represents the contingent right to receive, in accordance with the issuance schedule set forth in the applicable RSU award agreement, one Class A share for each vested RSU. The RSUs vest in installments in accordance with the terms of the applicable RSU award agreement, provided the reporting person remains in service through the applicable vesting date.
- F3These Class A shares are held in the Trust for the benefit of the reporting person's children for which the reporting person's children are the trustees. The reporting person disclaims beneficial ownership of the Class A shares held in the Trust, except to the extent of his pecuniary interest therein.